State Government R&D Survey

Survey of State Government Research & Development

SGRD_2017

State Government R&D Survey

OMB: 0607-0933

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 0607-0933 can be found here:

Document [pdf]

Download: pdf | pdf

FY 2017
Survey of State Government R&D
Reference Copy Only

OMB: 0607-0933
Exp: 04/30/2019

Submit your survey responses at:
https://econhelp.census.gov/sgrd
pages 2-15

Survey Questions

The purpose of this survey is to measure your state’s contributions toward scientific and technological
advances. The results of this survey will be used to estimate national totals for R&D in conjunction with other
data collected by the National Science Foundation from private industry, academic institutions, nonprofit
organizations, and the Federal government.
Title 13 United States Code, Section 8(b) and Title 42 United States Code, Sections 1861-76 (National Science
Foundation Act of 1950, as amended) authorizes the U.S. Census Bureau to conduct this collection on behalf
of the National Science Foundation and to request your assistance. These data are subject to provisions of
Title 13 United States Code, Section 9(b), exempting data that are customarily provided in public records
from rules of confidentiality.
This collection has been approved by the Office of Management and Budget (OMB). The eight-digit OMB
approval number is 0607-0933 and appears at the upper right of this screen. Without this approval, we could
not conduct this survey.
If you have any questions, please contact:
Vicki Mills
U.S. Census Bureau
1-888-340-7525
[email protected]

Burden Statement
We estimate this survey will take an average of 2 hours to complete, including the time for reviewing
instructions, researching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection information.
Send comments regarding this burden estimate or any other aspect of this voluntary collection of information,
including suggestions for reducing this burden, to:
ERD Survey Comments 0607-0933
U.S. Census Bureau
4600 Silver Hill Road, Room ERD- 6H128
Washington, DC 20233
You may e-mail comments to [email protected]; use "ERD Survey Comments 0607-0933" as the subject.

Contact Information
Please complete the contact information below and update if needed. (*required fields)
Primary Respondent
Your Name:*
Title:*
Agency:
Address:

City:*
State:*
-

Zip:
(

Telephone:*

)

Extension:

Email:*
Additional Contact Information (if applicable)
Your Name:
Title:
Agency:
Address:

City:
State:
-

Zip:
Telephone:

(

)

Extension:

Email:

Reporting Period
2. When did your state agency’s Fiscal Year 2016-17 end?
MM

2017
YYYY

Note: For the rest of this survey, we will refer to this Fiscal Year as FY 2017.

R&D Activities
Please read through the following definitions of R&D and answer the Screener
Question below.
What is Research and Development (R&D)?

What is Research and Development (R&D)?
Research and experimental development (R&D) comprise creative and systematic
work undertaken in order to increase the stock of knowledge – including knowledge of
humankind, culture and society – and to devise new applications of available knowledge.
What is R&D?
•

•
•
•
•

R&D is aimed at new findings (novel)
o It has not been done before
o It may produce findings that could be published in academic journals
o It includes ideas that could be patented
R&D focuses on original concepts or ideas (creative)
o Increases our knowledge of the subject
o Helps create new products or applications
R&D outcomes are uncertain (because it’s never been done before)
o Solutions are not always obvious or expected
R&D is systematic
o Projects processes and outcomes are documented
o Projects are planned and managed
R&D results in solutions that others may find useful
o Findings can be generalized to other situations and locations

What is NOT R&D?
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o

Construction and acquisition of land and facilities used primarily for R&D (this is
reported separately in Question 11)
Fixed equipment used primarily for R&D (this is reported separately in Question
11)
Program planning and evaluation
Business development services for new companies
Commercialization (includes promoting/producing the products/services from
R&D projects)
Economic/policy/feasibility studies
General patient services
Information systems
Management studies
Marketing of products/services
Market research or analysis
Routine data collection/dissemination
Routine monitoring/testing
Strategic planning
Technology transfer

Examples of R&D
What makes it R&D
R&D is novel.
• Aimed at new
findings
• It increases our
knowledge of the
subject.
• It has not been
done before.
R&D is creative.
• Improves on
existing
knowledge.

The outcome of R&D is
uncertain.
• The solution is not
obvious to an
expert in that field.
R&D is systematic.
• Projects are
planned.
• Records are kept
regarding process
and outcomes.
R&D solutions and
results could be useful
to others.
• Others might
benefit from the
findings.
• The findings can be
generalized to
other situations
and locations.

When it is R&D
You are testing blood
samples as part of a
research project to find
out the side effects of a
new cancer treatment.

When it is NOT R&D
You are collecting information from
samples of patients to estimate the
incidence of chicken pox in the
state’s population. (You are using a
standard approach to estimate the
spread of chicken pox.)

You are developing a
new methodology to
assess reading
comprehension for
students enrolled in
special education
curriculum.
Your research involves
monitoring streams to
determine whether a
new program is
increasing the
population of a particular
type of fish.
Research project has a
plan, funding source,
staff and other resources
available.

You are collecting reading
comprehension scores for trend
analysis.

You are testing a
pavement on your
highways that is
currently used only at
airports. Other states
will want the results.

You are testing pavement on your
state’s highways to estimate how
much you need to budget for
pavement replacement over the
next five years. (Other states will
not benefit from your specific state
information.)

You are monitoring streams as part
of plan to implement long-term
monitoring for a particular type of
fish. (The monitoring plan has
already been tested and you are
certain of the quality of the plan.)
Agency staff are interested in
solving a particular problem and
pursues answers as time permits.

Reporting unit
The reporting unit is your department, agency, commission, public authority (herein referred to as
agency) including all divisions and offices regardless of location that either perform or fund R&D.
Estimates are acceptable
Please report all items to the best of your ability.
Go to Question 3

Examples of classifying R&D from four activities
Activity

It IS R&D

It is NOT R&D

Technical assistance

You hire a technical consultant
to test the disease resistance
for the new fish species you are
developing. (The assistance
addresses the uncertainty of the
science/technology aspects of
the product or service.)

You hire a technical consultant
to help you design the graphic
design for the package to ship
your new fish species when you
begin offering it for sale to
other states. (The assistance
addresses the uncertainty of the
marketing/production aspects of
the product or service.)

Help for new businesses

You provide funding to new
businesses to help them with
the costs of building prototypes
of products they are developing.

You provide funding for new
technology companies to help
them acquire basic skills to
market their new products.

Consulting

You use a consultant to plan
testing of a highway pavement
material that your transportation
research center is trying to
develop.

You use a consultant to help
you secure health and safety
approval for your new pavement
material.

Developing a product from your
research

You hire a university research
center to test a new type of
grass you developed to test
whether it will survive actual
conditions along the coastline.

You hire a law firm to help you
with the process for patenting
the new grass that you
developed.

R&D Activities
3.

Did your agency do any of the following during FY 2017

a. Had a division, branch, or office devoted to research and development
Yes
No
b. Performed research and development activities using agency staff
Yes
No
c. Funded research and development at another state or local government
Yes
No
d

Funded universities or other nonprofit organizations to perform research and development
activities
Yes
No

Funded companies or individuals to perform research and development activities
Yes
No

Performed or funded other research and development activities not specified above
Yes
Please specify:

Expenditures for R&D Performed Internally (Internal R&D)
4. During FY 2017, what were the total expenditures for internal R&D performance from federal
funds, state funds, or other funds?

Include
Type of Activities
• R&D performed by your agency’s
employees
• Services performed by others in support
of an agency R&D project (e.g., lab
testing)
• Administration and management of
internal R&D performed by your agency
Type of Costs
• Salaries
• Benefits
• Supplies and movable equipment for
R&D
• Travel
• Indirect costs
• Purchased Services

Exclude
• R&D performed by higher education
institutions (report in Question 5)
• R&D performed by businesses and
individuals (report in Question 5)
• R&D performed by non-profit and
organizations (report in Question 5)
• R&D performed by other governments
(report in Question 5)
• Construction and acquisitions of land or
facilities used primarily for R&D (report
in Question 11)
• Fixed equipment used primarily for R&D
(report in Question 11)
• Administration and management of
external R&D-related grants

a. Federal Funds used for internal R&D....................................

For example:
•
•
•
•

Grants
Contracts
Awards
Appropriations from the United States Government

b. State Funds used for internal R&D......................................

For example:
•
•
•
•
•
•
•
•
•
•
•

Appropriations from the state legislature
Agricultural commodity assessments/"check-offs"
Bond funds
General funds
Restricted funds
Revenue funds
State grants
Tobacco settlement funds
Lottery proceeds
Funds from other agencies within your state
Revenue from charges, fees, or fines

c. Other Non-Federal Government Funds used for internal R&D...$
• Funding from other state governments
• Funding from state/regional partnership agreements
• Funding from local or triable governments
d. Funding from Nonprofit Organizations for internal R&D...........$
e. Funding from Businesses for internal R&D...............................$
f.

Funding from Higher Education Institutions for internal R&D...$

These are your total expenditures for internal R&D:(sum
of 4a through 4f) …………….……………….....................................$

Expenditures for R&D Performed Externally (External R&D)
5.

During FY 2017, what were the total expenditures for external R&D performance from federal
funds, state funds, and other funds?
Include
R&D funded by your agency and performed by,
• Higher-education institutions
• Agricultural experiment stations
• Businesses and individuals
• Non-profit organizations
• Other state or local governments
• Matching grants to others for R&D-related programs and projects
Exclude
•
•
•

Pass-through funding for which you have no administrative oversight or control
Administrative and management costs for all R&D-related activities
R&D Tax Credit issued by your agency
Federal Funds used for external R&D.................... $

For example:
Grants
Contracts
Awards
Appropriations from the United States Government

•
•
•
•

State Funds used for external R&D.....................

For example:
•
•
•
•
•
•
•
•
•
•
•

c. Other Sources used for external R&D..................

For example:
•
•
•
•
•

Funding
Funding
Funding
Funding
Funding

from
from
from
from
from

other state governments
state/regional partnership agreements
local or triable governments
nonprofit organizations
business

Please specify:

d. These are your total expenditures for external
R&D: (sum of 5a through 5c) …........……………………….

Total R&D Expenditures
6. The following matrix shows the answers reported in Question 4 and Question 5. These
are your total R&D-related expenditures. To revise them, please return to the
appropriate question and enter new data. The remaining questions will ask for
information about these amounts.
FY 2017
Total by
Source

External

Internal
Federal

State

Other

TOTAL

Internal
Other

Internal Nonprofit
Organizations

Internal Non-Federal
Government

Internal Higher
Education Institutions

Internal Businesses

Total R&D Expenditures by Function
7.

Of the amount reported for FY 2017 reported expenditures, how much was for:

Agriculture..........................................................
For example:
• Animal husbandry
• Aquaculture
• Crop management
• Food and commodities

Energy................................................................
For example:
• Alternative fuels (e.g., ethanol, biofuels)
• Energy conservation/efficiency
• Oil and gas
• Other fossil fuels (e.g., coal, clean-coal, lignite)
• Renewable energy (e.g., wind, solar)

Environment and Natural Resources...................
For example:
• Air and water quality
• Fish, game, and wildlife
• Forestry
• Geological studies
• Marine and aquatic environments
• Parks and preserves
• Soil and water conservation

Health................................................................
For example:
• Biomedical research
• Mental health and addiction
• Pharmaceuticals
• Public health

Transportation...................................................
For example:
• Aviation
• Highways, roads, and bridges
• Ports and waterways
• Public transportation
• Rail and freight

Other functions .................................................
For example:
• Corrections and criminal justice
• Education
• Labor
• Public safety
• Social services

Please specify:
g.

Total (sum of 7a through 7f) ………………………….…………

Funds Received from Federal Agencies for R&D
8. Of the amount reported for FY 2017 reported expenditures from federal funds, what amount
came from the following agencies? Please add any agencies not already listed. If none, please
report $0.
Federal Agency
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Homeland Security
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Department of Veterans Affairs
Environmental Protection Agency
National Aeronautics and Space Administration
National Science Foundation

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Other, please specify:
$
$
Total (sum of all above) ………………………………………………………....... $

FY 2017 Expenditures for R&D Performed Internally by Type of R&D
9. What amount of your reported FY 2017 federal internal R&D expenditures and
reported FY 2017 non-federal internal R&D expenditures in Question 4 were for basic
research, applied research, and experimental development from federal and nonfederal funds? (Please use your best estimate.)
Federal

a. Basic Research........................................................$

Non-Federal

Experimental or theoretical work undertaken primarily to
acquire new knowledge of the underlying foundations of
phenomena and observable facts, without any particular
application or use in view.
(see Examples of Basic Research below)
b. Applied Research.............................................................$

Original investigation undertaken in order to acquire new
knowledge. It is, however, directed primarily towards a
specific, practical aim or objective.
(see Examples of Applied Research below)
c. Experimental Development................................................$

Systematic work, drawing on knowledge gained from research
and practical experience and producing additional knowledge,
which is directed to producing new products or processes or to
improving existing products or processes.
(see Examples of Experimental Development below)

Total (sum of 9a through 9c)................................................$

Examples
Basic Research

Applied Research

Experimental Development

You are studying the properties of
blood to determine what affects
coagulation.

You are conducting research on
how a new chicken pox vaccine
affects blood coagulation.

You are testing a newly developed
chicken pox vaccine with various
ages of school children before
implementing it statewide.

You are studying the properties of
molecules under various heat and
cold conditions.

You are conducting research on
the properties of particular
substances under various heat and
cold conditions with the objective
of finding longer lasting
components for pavement.

You are testing a newly developed
pavement under various types of
heat and cold conditions prior to
using it on your state’s highways.

You are studying the heart
chambers of various fish species.

You are examining various levels
of a toxic substance to determine
the maximum safe level for fish in
a stream.

You are designing a new system
for monitoring a stream that will
try out the results of your recent
research in a real world situation.

You are studying the effects of
various strategies for teaching
math in order to understand
which is the most effective.

You are studying the
implementation of a specific math
curriculum to determine what
factors lead to successful
implementation by teachers.

You are using research in the field
to develop education software
and support tools for math
curriculum.

Expenditures for R&D Performed Externally by Type of Entity
10. Of the reported external R&D performance for FY 2017 reported expenditures in Question 5,
how much was to:

a. Higher education institutions?....................... $
b. Businesses or individuals? .........................

c. Other entities? ...............................................$
For example:
• Other state governments
• Local governments
• Non-profit organizations
Exclude: Transfers from other agencies within your state government.
Please specify:

d. Total (sum of 10a through 10c) .........................$

R&D Expenditures for Land and Facilities
11. During FY 2017, what were your agency’s R&D expenditures for construction and
acquisition of land and facilities (including fixed equipment) used primarily for R&D?
This question asks about R&D land and facilities (including fixed equipment, such as shake tables or
wind tunnels) used primarily for R&D. It includes the acquisition of, construction of, and major
repairs or alterations to structures, works, equipment, facilities, or land for use in R&D activities.
Construction and acquisition of land and facilities used primarily for R&D includes major costs for
construction and purchase of buildings to be primarily used as R&D facilities.
Include:
•

Only expenditures related to the R&D activities of your agency.

Exclude:
• Expendable or movable equipment (e.g., spectrometers, microscopes).
• Office furniture and equipment.
• Costs of pre-design studies (e.g., those undertaken before commitment to a specific facility).
NOTE: The expenditures reported on this question are separate from the R&D expenditures asked
throughout the rest of the survey, and should not be included in the expenditures on any other question
in the survey.

REMARKS
12.

Comments: Use this space for any clarifying remarks or comments regarding the data
reported on this form.

File Type	application/pdf
Author	Lisa Ann McNelis
File Modified	2017-08-28
File Created	2015-07-06